Management Cloud and Global Trade Oracle Transportation...Global Trade Management Cloud also has a Customs Filing History grid on the Documents tab of the Declaration manager UI, where

Oracle Transportationand Global TradeManagement Cloud

Customs Filing Integration Guide

Release 20C

Oracle Transportation and Global Trade Management CloudCustoms Filing Integration Guide

Release 20C

Part Number: F29744-01

Last Updated: 07/2020

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Contents

Preface .................................................................................................................................. i

1 Customs Filing in Global Trade Management Cloud 1Overview ............................................................................................................................................................................................ 1

Process Overview ............................................................................................................................................................................ 2

2 Customs Filing with AES 5Overview ........................................................................................................................................................................................... 5

Filing with AES via Descartes’ GLN system .............................................................................................................................. 5

3 AES Export Declaration Filing and Response Processing 7Outbound Export Declaration Filing Setup .............................................................................................................................. 7

Inbound Filing Response Processing ....................................................................................................................................... 10

Customs Filing Statuses ............................................................................................................................................................... 11

4 AES Regulatory Changes 13Amendments to Cuba Sanctions and New Voluntary Disclosure License Code Types .................................................. 13

FTR Changes .................................................................................................................................................................................. 13

Removal of AES License Type Code C32, No License Required (NLR) ............................................................................. 14

Removal of AES License Type Codes C49 Trans-Alaska Pipeline Authorization Act (TAPS); C55, Short Supply Crude

Oil Samples; and C56 Short Supply Strategic Petroleum Reserves ................................................................................... 15

5 Troubleshooting 17Troubleshooting Process ............................................................................................................................................................. 17

6 Appendix 19Sample Outbound X12.601 EDI Filing Document ................................................................................................................... 19

Sample Inbound X12.824 EDI Filing Response: Shipment Added Response ................................................................... 19

Sample Inbound X12.824 EDI Filing Response: Shipment Rejected Response ............................................................... 20


Important Qualifiers .................................................................................................................................................................... 20

References ....................................................................................................................................................................................... 21


Preface

PrefaceOracle® Transportation and Global Trade Management Cloud Customs Filing Integration Guide, Release 20C

Part No. F29744-01

This document is intended for Global Trade Management Cloud clients, Global Trade Management Cloudadministrators, or Global Trade Management Cloud consultants who have an interest in creating and electronicallyfiling trade documents for the purpose of reporting export declarations to trade regulatory authorities. This guideprovides instructions on how to create filing documents and how to configure the integration components requiredfor submitting the filing document to the US Trade regulatory authority, the US Census, via US Customs and BorderProtection's (CBP) Automated Export System (AES).

Change History

Date Document Revision Summary of Changes

07/2020 -01 Removed references of AES filing using MQ orWebLogic queues.

Using Applications

Additional Resources• Community: Use Oracle Cloud Customer Connect to get information from experts at Oracle, the partner

community, and other users.

• Guides and Videos: Go to the Oracle Help Center to find guides and videos.

• Training: Take courses on Oracle Cloud from Oracle University.

ConventionsThe following table explains the text conventions used in this guide.

Convention Meaning

boldface

Boldface type indicates user interface elements, navigation paths, or values you enter or select.

monospace Monospace type indicates file, folder, and directory names, code examples, commands, and URLs.

>

Greater than symbol separates elements in a navigation path.

i

https://appsconnect.custhelp.com/http://docs.oracle.com/http://education.oracle.com/pls/web_prod-plq-dad/db_pages.getpage?page_id=906


Preface

Contacting Oracle

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Comments and SuggestionsPlease give us feedback about our help and guides! You can send an email to: [email protected].

ii

http://www.oracle.com/pls/topic/lookup?ctx=acc&id=infohttp://www.oracle.com/pls/topic/lookup?ctx=acc&id=trsmailto:[email protected]


Chapter 1Customs Filing in Global Trade Management Cloud

1 Customs Filing in Global Trade ManagementCloud

Overview The Customs Filing feature in Global Trade Management Cloud allows you to prepare documents for filing exportdeclarations and subsequently transmit these documents to various customs reporting authorities, who could benational or other regulatory authorities, which govern trade compliance.

The process of customs filing broadly consists of the following pieces:

1. Declaration Creation2. Filing Document Determination3. Data Preparation4. Filing Document Generation5. Filing Document Transmission6. Filing Response Processing (Optional)7. Filing Process Visibility

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Note: Global Trade Management Cloud is certified for AES filing using Descarte’s Global Logistics Network (GLN)using HTTP, but you can use your own configuration to perform filing using any of the Global Trade ManagementCloud supported communication methods.

Process Overview

Declaration Creation A declaration is the business object for all customs related activities. Declarations can be created manually orautomatically. You can consolidate one or more trade transactions into a declaration. This consolidation can be donevia UI and agent actions. All compliance screening activities should be performed on the trade transactions prior toconsolidating them into a declaration. Once a trade transaction has been consolidated into a declaration, if a changeneeds to be made to the trade transaction that impacts the declaration, the trade transaction must first be removedfrom the declaration, then any changes to the trade transaction are applied, and finally the updated trade transactionshould be re-added to the declaration.

Filing Document Determination Customs regimes specify which documents need to be provided when filing export declarations, based on theirregulatory requirements. You model the customs requirements as compliance rules. You run the compliance rules onthe declaration to determine whether the declaration requires any documents and what the required document typesare. The compliance rules are of the Control Category DOCUMENT. After the compliance rules are run, the requireddocument types are assigned to the declaration and are listed on the Documents tab of the Declaration manager.

Note: AES_FILING is a declaration-level filing document type. So when creating rules to determine the required AESfiling documents on a declaration, clear the For Transaction Line check box on the Compliance Rules page.

Data Preparation Data preparation is essentially a task that involves converting the data from one form to another mainly for variousreporting purposes. Data preparation can be run for multiple end-uses such as creating trade documents for customsfiling, commercial invoices, etc. Typically the data such as quantities and currencies on the declaration use UOMs thatare relevant to your operational environment. Users might want to show the quantities and currencies on reports andtrade documents using different UOMs. Global Trade Management Cloud provides both UI actions and automationagent actions that help convert the quantities from one UOM to another. After the action converts the UOMs, theconverted quantities are stored in the Reporting Quantities grid fields.

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Filing Document Generation If it is determined that a filing document is necessary after the data preparation, you can generate the filing documentfor the declaration by running the Generate Document action. When this action is run, the system retrieves all theinformation required to generate the document content, validates this information using the validation rules definedfor the document type, and invokes the document creation mechanism. The action inspects all the lines belonging tothe declaration, and selects only those lines that have been deemed reportable to be included in the filing document.Documents can be created via tools such as BI Publisher.

Filing Document Transmission After the filing document has been generated for a declaration, you can transmit the filing document for thatdeclaration using the File Customs action. This action transmits the filing document using the standard Transportationand Global Trade Management Cloud communication mechanisms. The action takes as a parameter, an externalsystem. Transportation and Global Trade Management Cloud provides multiple integration options such as XML, webservices, data queues, etc. to interface with the reporting authority systems.

Filing Response Processing Inbound filing responses are modeled in Global Trade Management Cloud as Tracking Events. This allows filingresponses, after entering Global Trade Management Cloud, to trigger notification or workflow, such as updating thestatuses of the filing and updating the declaration with response codes and confirmation numbers.

Filing Process Visibility To indicate where a declaration is in the lifecycle of customs filing, Global Trade Management Cloud provides a numberof statuses. Global Trade Management Cloud also has a Customs Filing History grid on the Documents tab of theDeclaration manager UI, where you can see how the statuses change as the declaration passes through various stagesof the customs filing process. Users can define their own external statuses on declarations or on the filing document tomonitor other conditions.

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4


Chapter 2Customs Filing with AES

2 Customs Filing with AES

Overview U.S. export shipments require an export declaration to be filed with the U.S. Census. The export declaration isrepresented as EEI (Electronic Export Information) and is filed with the U.S. Census. The US Census provides multipleoptions to allow the filing. Global Trade Management Cloud supports filing with U.S. Customs and Border Protection’s(CBP) Automated Export System (AES) interface using one of the following options.

• Filing with AES via Descarte’s GLN system.

Using Global Trade Management Cloud, you can file an export declaration with AES for a trade-shipment. To file anexport declaration, you generate within Global Trade Management Cloud a filing document for that trade-shipment.You then electronically submit the filing document to AES using Global Trade Management Cloud. AES asynchronouslysends a filing response.

Filing with AES via Descartes’ GLN system

Filing Requirements You must get a license from Descartes to use this option.

Filing Architecture The following diagram describes the architecture overview of customs filing implementation with AES via GlobalLogistics Network (GLN) system.

Global Trade Management Cloud (GTM) sends the filing document to Descartes’ Global Logistics Network which in turnfiles to AES on behalf of Global Trade Management Cloud and communicates back the AES response to Global TradeManagement Cloud. The entire communication happens over HTTPS.

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Chapter 2Customs Filing with AES

Customs Filing (Outbound from Transportation and Global Trade ManagementCloud)

• Global Trade Management Cloud sends the filing documents to the GLN. GLN authenticates the customercredentials. Once the credentials are authenticated, GLN validates the EDI data, including DUNS and EINnumber.

• GLN sends an acknowledgment to Global Trade Management Cloud with success and failure details ofauthentication and validation.

• On successful validation, GLN files the EDI with AES.

Filing Response (Inbound to Transportation and Global Trade Management Cloud)• GLN receives the response back from AES.

• It passes the response to Global Trade Management Cloud at the filing ResponseServlet configured in GLN foryou.

• Global Trade Management Cloud HTTP servlet processes the response.

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Chapter 3AES Export Declaration Filing and Response Processing

3 AES Export Declaration Filing and ResponseProcessing

Outbound Export Declaration Filing Setup

Declaration Creation Declaration can be created manually through a consolidation process. You can consolidate one or more tradetransactions to create a declaration. Consolidation can be performed via UI actions as well as automation agent actions.

All compliance related activities should have been completed on the trade transaction as they will not be available onthe consolidated declaration.

AES uses a Shipment Reference Number to uniquely identify each shipment. This identifier should be created for eachdeclaration and should remain constant for the declaration throughout the process of filing the export declaration.Global Trade Management Cloud provides an automation agent GENERATE SHIPMENT REFERENCE NUMBER tocreate this unique identifier when a new declaration is created. The identifier is added to the declaration as a referencenumber, using the Reference Number Qualifier ID, SHIPMENT REFERENCE NUMBER. You can either activate thisautomation agent, or use this automation agent as a template to create your own automation agent to generate an AESShipment Reference Number.

Document Determination Using compliance rules, you can configure that based on specific criteria declarations must have certain types ofdocuments. One such type of document is an export declaration. The documents that must be generated for adeclaration are displayed in the Required Documents grid on the Declaration manager on the UI.

Global Trade Management Cloud ships with a pre-defined document type called AES_FILING, which helps create anEDI formatted export declaration that can be filed with the U.S. Census via AES. The AES_FILING document type isassociated with the EAR and ITAR regimes. Document type to regime associations can be added or modified via theRegime Document Definition power data.

Note: AES_FILING is a declaration-level filing document type. So when creating rules to determine the required AESfiling documents on a declaration, clear the For Transaction Line check box on the Compliance Rules page.

You can create additional document types for use with other regimes or for other end uses such as a complianceinvoice.

Document Validation Associated with each document type are validation rules. At the time of document generation, the document generationmechanism checks the document content against these rules. Validation rules are implemented as saved queries, so

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you can add additional rules or modify any existing rules associated with a document type. Validation rules can bedefined using the Document Validation Rules power data page. Validation rules are associated with a document type,on the Document Type power data page.

The following rules are pre-defined for the AES_FILING document type:

1. The declaration must have a date defined with the date qualifier ID of EXPORT DATE.2. The declaration must have a reference number with the reference number qualifier ID of SHIPMENT

REFERENCE NUMBER.3. The declaration must have at least three remarks with the following remark qualifier IDs: RELATED COMPANY,

EXPORT INFORMATION CODE, and FILING OPTION.4. The declaration must have a port defined using the port qualifier ID of PORT OF EXPORT and the port location

must match a value from the Census Schedule-D list of locations.5. The declaration must have a transport mode.6. If the transport mode is one of VESSEL-CH, VESSEL-CO, or VESSEL-NO, the declaration must have a port with

the port qualifier ID of PORT OF UNLADING and the port location must match a value from the AES Schedule-K list of locations.

7. The declaration must have at least three involved parties, using the involved party qualifier IDs of USPPI,ULTIMATE CONSIGNEE, and CARRIER.

8. The USPPI and ULTIMATE CONSIGNEE should have first name, last name, and address (including country)information. The ULTIMATE CONSIGNEE must have a consignee type defined in UTLIMATE CONSIGNEETYPE.

9. The declaration should have at least one reportable line, and up to a maximum of 999 reportable lines.10. Each reportable line can only have one control of reportable regimes.11. Each reportable line must have a quantity with the quantity qualifier ID of TOTAL GROSS WEIGHT.12. Each reportable line must have an HTS and/or Schedule-B classification code. If there is no Schedule-

B classification code available, the HTS classification code on the line must be allowed by AES. An HTSclassification code is allowed by AES, if that classification code has a classification code attribute ofIS_AES_REPORTABLE with attribute value Yes.

Document Data Preparation Specific to filing with AES, the AES_FILING document type expects that the quantities that need to be reported to AESare present in the reporting quantities fields. This means that you must either run the Convert UOMs action on thedeclaration to populate the reporting quantities fields, or if the quantities already use the correct UOMs, you mustmanually copy the quantities’ values into the reporting quantities fields, for them to be correctly included in the filingdocument.

Document Generation If it is determined, based on running compliance rules on a declaration, that a document is required, you can generatethe document for the declaration by running the Generate Document action. When this action is run, Global TradeManagement Cloud retrieves all the information required to generate the document content, validates this informationusing the validation rules defined for the document type, and invokes the document creation mechanism. Documentscan be created via tools such as BI Publisher.

Global Trade Management Cloud ships with default templates to generate using BI Publisher, EDI formatted exportdeclaration documents that can be filed with the US Census via AES. To use these templates to generate EDI filingdocuments, the following properties must be set up.

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To specify AES authentication details:

gtm.aes.param.P_TRANSMITTER_IDgtm.aes.param.P_COMMUNICATION_PASSWORD_IDgtm.aes.param.P_FILER_ID

Optionally if the Transmitter ID and Filer ID can vary on a transactional basis, they can be configured on each shipment.Global Trade Management Cloud will first look at the shipment to see if a Transmitter and/or Filer is specified as anInvolved Party. If so, Global Trade Management Cloud will use the reference number on the associated Involved Partyto populate the Transmitter ID and Filer ID. The Involved Party Qualifiers and Reference Number Qualifiers expectedare listed in the Appendix. If the Involved Parties or the Reference Numbers are not present, Global Trade ManagementCloud will use the values in the properties when generating the EDI filing document.

To indicate whether sample test data or actual export information is being sent:

gtm.aes.param.P_IS_PRODUCTION

To indicate the quantity qualifier ID and currency qualifier ID that should be reported:

gtm.aes.param.P_REPORTING_QUANTITY (default=ORDERED)gtm.aes.param.P_REPORTING_CURRENCY (default=TOTAL VALUE)

To indicate the reference numbers and time zone that should be reported:

gtm.aes.param.P_REPORTING_REFERENCE_NUMBER (default=BN)gtm.aes.param.P_REPORTING_REPORTING_FOREIGN_ENTITY(default=FOREIGN ENTITY)gtm.aes.param.P_REPORTING_TIMEZONE (default=US/Eastern)

To indicate the classification code type that should be reported:

gtm.aes.param.P_CLASSIFICATION_CODE_TYPE (default=HTS US)

To indicate whether an alternate code type can be reported:

gtm.aes.param.P_ALLOW_ALTERNATE_CODE_TYPE (default=YES)

AES allows you to report the HTS or Schedule-B codes when filing export declarations. By setting the above properties,you can configure which code type to report and whether Global Trade Management Cloud can report an alternate codetype. This means that if a user prefers to report the HTS codes and there is either no HTS code on the declaration line orif the HTS code is not reportable, then Global Trade Management Cloud will report a Schedule-B code.

To indicate the license value that must be reported:

gtm.aes.param.P_REPORTING_LICENSE_VALUE

To generate the filing document, Global Trade Management Cloud iterates through all the declaration lines and selectsthose lines that have been marked, during report determination, with control types and control codes specific to theregime associated with the document type. Declaration lines that need to be included in the filing document have acontrol type in the Reporting Results grid in the Declaration Line manager in the UI.

Once all the information is retrieved, the document generation mechanism invokes a callback helper process. Thiscallback helper process essentially performs miscellaneous tasks such as validating the statuses before and afterdocument generation, plus any additional pre and post document generation tasks specific to the document type. ForAES, Global Trade Management Cloud has defined a specific callback process AESFilingCallback that is associated withthe AES_FILING document type. You can use the AES_FILING document type or you can create your own documenttypes. However, any document type created for the purpose of creating a filing document that will be filed via AES mustuse the AESFilingCallback process. The document type to the callback helper processassociation is defined via thefollowing property.

glog.reqdoc.reqdocCallbacks.=

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By default, the property is set as follows to indicate that AES_FILING document type is associated to the callbackgtm.server.agent.business.transaction.AESFilingCallback.

glog.reqdoc.reqdocCallbacks.AES_FILING=gtm.server.agent.business.transaction.AESFilingCallback

The AESFilingCallback does the following:

• Validates the statuses before generating the document.

• Sets the status after generating the document.

• Creates the filing reference numbers for the declaration lines.

• Creates a tracking number for the filing document.

Global Trade Management Cloud tags the filing document with a tracking number which is returned in the filingresponse, allowing Global Trade Management Cloud to match a filing response back to the original filing document.

Documents generated for the declaration are listed on the Documents tab of the Declaration manager. You can view thegenerated document content and document statuses via the Document Manager.

Document Filing After a document has been generated for a declaration, you can transmit the filing document for that declaration usingthe File Customs action. This action transmits the filing document using the standard Transportation and Global TradeManagement Cloud communication mechanisms and updates filing statuses. The File Customs action takes documenttype, communication method, and external system as input. From 6.3.4 onwards, File Customs action supports the AESfiling via HTTP with Descartes as third party vendor who can file on behalf of Global Trade Management Cloud. You canalso file the generated EDI through a customer-defined action with any communication method but they must take careto update the statuses.

To facilitate sending the filing document to AES, File Customs action supports the following communication methods.

• HTTP: Global Trade Management Cloud is shipped with an AES FILING VIA DESCARTES GLN, a sample externalsystem, to send HTTPS requests to the Descarte’s GLN system. You can modify the public shipped externalsystem or create a new external system by copying the information from public shipped external system.You must specify GLN URL/User Name and Password. File Custom action sends the filing documents to theHTTP URL of GLN specified on the external system. Next, GLN authenticates the HTTP request and validatesthe data present in the input EDI. If authentication and validation is successful, it responds back with anacknowledgement of the EDI receipt and files the EDI file to AES system.

Note: The external system used for either of the above options must include External System Translations“GTM_DOCUMENT_TO_AES” to extract the EDI content from the document XML.

Inbound Filing Response Processing The government system authenticates, validates the EDI and processes it. The government responds back with success,failure, and warning messages. Inbound filing responses are modeled in Global Trade Management Cloud as trackingevents. This allows filing responses, after entering Global Trade Management Cloud, to trigger notification or workflow,such as updating the statuses of the filing, updating the declaration with response codes and confirmation numberssuch as the ITN.

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The filing responses can enter Global Trade Management Cloud via a variety of integration mechanisms such as thestandard XML integration, web services, or data queues. AES uses EDI-formatted filing responses and interfaces withGLN based on the communication method used for filing.

• Global Logistics Network: Descarte’s GLN receives the EDI Response from AES system which it sends backto (gtm.integration.aes.servlet.AESFilingResponseServlet) HTTP servlet in Global Trade Management Cloud.Customer must provide the HTTPS servlet URL, user name, and password to GLN so that GLN can configureto forward the response from AES to Global Trade Management Cloud. Descarte can configure these details inGLN as one time setup.

EDI to Tracking Event XML Transformation

HTTP Servlet Global Trade Management Cloud is configured to receive the AES response at Http servletgtm.integration.aes.servlet.AESFilingResponseServlet. The servlet transforms the inbound response (EDI) to standardintegration XML format and the transformed message is fed back into the integration layer.

Integration XML as tracking event, that comes into Global Trade Management Cloud is, expected to contain usernameand password fields for authentication. The default message handler or http servlet, when building the tracking eventXML, uses the username and password specified by the following properties:

gtm.customsfiling.gloguser.usernamegtm.customsfiling.gloguser.password

Tracking Event Processing Global Trade Management Cloud ships with an automation agent for processing filing responses. The automation agentPROCESS CUSTOMS FILING RESPONSE of type TRACKING EVENT is triggered when a new tracking event entersthe system, or if an existing tracking event is re-processed. The automation agent, when triggered, attempts to matchthe tracking event to a filing document. If the matching is successful, the automation agent updates the status on thedocument according to the filing response status. The automation agent by default is not active. It is recommended thatyou use this automation agent as a template, to create your own automation agents to process filing responses.

Customs Filing Statuses Statuses are a good way to trace where a declaration, or the associated filing document, is in the lifecycle of the filingprocess. Global Trade Management Cloud by default has a set of status types and values on the filing document that arespecific to the AES filing process. These status types and values are listed below.

SHIPMENT_CUSTOMS_STATE: Indicates the state of the declaration that the document is associated with. Indirectly, itindicates the submission state of the filing document. This status type has the status values:

• New: Declaration has not been filed yet.

• Update: Declaration has been modified after filing at least once.

• Cancel: Declaration has been cancelled after filing at least once.

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CUSTOMS_FILING_GENERATION: Indicates the generation status of the filing document. This status type has thestatus values:

• Not Generated: Document has not yet been generated.

• Generated: Document has been generated.

CUSTOMS_FILING: Indicates the status of the filing process. This status type has the status values:

• Not Started: Filing process not started.

• Submitted: Filing document has been submitted.

• Cancellation Submitted: Cancellation of a prior filing has been submitted.

• Replacement Submitted: Replacement of a prior filing has been submitted.

• Accepted: Filing response that the filing has been accepted.

• Accepted Verify: Filing response is conditionally accepted.

• Replaced: Filing response that a prior filing has been replaced.

• Cancelled: Filing response that a prior filing has been cancelled.

• Compliance: Filing response that filing has compliance problems.

• Rejected Fatal: Filing response that filing has been rejected with fatal errors.

• Rejected Warning: Filing response that filing has been rejected with warnings.

When you generate a document, using the Generate Document action on a declaration, the status value forCUSTOMS_FILING_GENERATION is set to Generated.

When you transmit the filing document, for the very first time, the status value for CUSTOMS_FILING is set toSubmitted. When a response is received from AES, the status value is set to indicate the response result.

If you want to modify a declaration, after its filing document has been submitted and want to re-file the exportdeclaration for the declaration, first you must run the action Update Shipment Custom State, which setsSHIPMENT_CUSTOMS_STATE to Modified, and CUSTOMS_FILING_GENERATION to Not Generated. Next, youmust re-generate the filing document by running the Generate Document action, which sets the status valuefor CUSTOMS_FILING_GENERATION to Generated. Finally, you must run the File Customs action to transmitthe modified filing document, which sets the status value for CUSTOMS_FILING to Replacement Submitted orCancellation Submitted, based on the intent of modifying the declaration.

You can define your own customs status types and values to indicate other conditions that you might be interested in orwhen filing with other regimes.

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Chapter 4AES Regulatory Changes

4 AES Regulatory Changes

Amendments to Cuba Sanctions and New VoluntaryDisclosure License Code Types In January 2015 the Automated Export System deployed changes to allow new License Codes that can be used in exportfilings. Global Trade Management Cloud is updated to accommodate the use of these new License Codes. The formatand query templates have been modified to fulfill the new reporting requirements and will appear in the X107 field ofthe EDI filing document. The new License Codes, their use and the configuration necessary is described below.

C62 – SUPPORT FOR THE CUBAN PEOPLE

This is a standard license exception code that would normally be found in either a Compliance Rule Exception Code fieldor the Authorization field. The user-friendly code that should be entered is SCP. The templates will map this to the EDILicense Code C62.

• VDC – COMMERCE DEPARTMENT VOLUNTARY SELF DISCLOSURE

• VDS – STATE DEPARTMENT VOLUNTARY DISCLOSURE

• VDO – OTHER PARTNER GOVERNMENT AGENCY VOLUNTARY DISCLOSURE

These three are neither License Codes or License Exception Codes, but other information. However, it is expected tofind these either in a Compliance Rule Exception Code or the Authorization field. There is no user-friendly code, so theactual values, VDC/VDS/VDO are expected to be found in the Compliance Rule Exception Code or Authorization field.

Users are expected to capture the need for voluntary disclosure by either entering the values directly into theAuthorization field or by modeling a Compliance Rule on a Transaction Remark. The Remark Text should be one of thethree values listed above and this same value would be used in the Exception Control Code.

FTR Changes In April 2014 the Automated Export System (AES) deploys the FTR changes that were detailed in AES Broadcast#201316. Global Trade Management Cloud is updated to accommodate these regulatory changes. The format and querytemplates are modified to fulfill the new reporting requirements. However, you should note the following changes needto be configured in the templates to query and report the values correctly.

1. Ultimate Consignee Type – Element N106

The N106 element is used to report the Ultimate Consignee Type. This value is required when the N101 Elementvalue is CN. The Ultimate Consignee Type should be stored on the party master using the User-definedCategory / Type / Code mechanism. A new AES FILING category and a new ULTIMATE CONSIGNEE TYPE areadded. The Ultimate Consignee Type options are:

◦ XT : Direct Consumer◦ QW : Government Entity◦ DU : Reseller

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◦ B2 : Other

There must be one Ultimate Consignee Type set per party. The documentation validation rule pertaining to theultimate consignee is modified to validate that any party designated as an ultimate consignee has the UltimateConsignee Type value assigned.

2. License Value – Element X114

A license value must be reported for certain license codes in the X114 Element. The license value is definedas the value for a licensable shipment which does not include any overhead charges like insurance, domesticfreight, and other charges in US dollars.

If the EDI license code being reported is one of the

C30, N01, N02, S05, S61, S73, S85, S94, T10, T12 code,

then the license value is reported as the Assigned License Value of the shipment line (i.e. the Value field in theAssigned Licenses grid).

If the EDI license code being reported is one of the C35, C43, C59 code, then these exception codes has noassigned license value to report. In this case, you should assign a value to the shipment line that they want toreport as the license value. You should indicate which value qualifier was used to assign the value, by settingthe gtm.aes.param.P_REPORTING_LICENSE_VALUE property.

3. New License Codes

A number of additional license codes are now supported with changes in the format and query templates.However, the DY6 License Code deserves special mention. A new control DY6 is created in AES for reporting ofitems that fall under the “600 series” ECCNs with a paragraph “.y”. If an AES filer submits export informationcontaining a “600 series” ECCN with a paragraph “.y”, then filer must report using the C60 EDI code.

Global Trade Management Cloud has built-in logic templates to automatically report a DY6 control when certainconditions are met. If a transaction contains an “NLR” license but is classified with a “600 series” ECCN UScode, then the C60 EDI code must be reported irrespective of any other conditions.

Removal of AES License Type Code C32, No LicenseRequired (NLR) Effective from October 1, 2016, the Department of Commerce, Bureau of Industry and Security has removed the licensetype C32, No License Required (NLR), from the list of License Types in the Automated Export System (AES). As a resultof this action, C33 will be the only License Type in AES designating a NLR shipment.

For items that have a reason for control other than or in addition to Anti-Terrorism (AT), report No License Required(C33) as the license type in the EEI filing.

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Removal of AES License Type Codes C49 Trans-AlaskaPipeline Authorization Act (TAPS); C55, Short SupplyCrude Oil Samples; and C56 Short Supply StrategicPetroleum Reserves On May 12, 2016, the Department of Commerce, Bureau of Industry and Security published a final rule that amended theExport Administration Regulations (EAR) to comply with the requirements of Division O, Title 1, Section 101 of Public Law114–113 (the Consolidated Appropriations Act, 2016) concerning exports of crude oil from the United States. Consistentwith this requirement, the final rule amended part 754 of the EAR by removing and reserving § 754.2, which describedthe short supply license requirements and licensing policies that applied to exports of crude oil from the United Statesto all destinations.

As a result of this rule, License Types TAPS (C49), Short Supply Crude Oil Samples (C55) and Short Supply StrategicPetroleum Reserves (C56) are removed from the Automated Export System.

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Chapter 5Troubleshooting

5 Troubleshooting

Troubleshooting Process When filing your export data with AES, you will receive a response. If your filing is correct and includes all therequired data in the proper format, AES will accept the filing and send back a response code and an ITN which is yourconfirmation number. If there is a problem with your submission and it is not accepted, you will need to troubleshootthe issues, make changes and retransmit your data to AES.

There are a few things you can do when troubleshooting an issue:

• If there is an issue, AES will send back a response code and severity related to that code. To find more detailabout a response code and how to resolve the corresponding issue, you can refer to the ‘Appendix A –Commodity Filing Response Matrix’ document which is available on the Customs and Border Protection (CBP)website. This document includes details for each response code including the severity, the reason you receivedthe response code, and the resolution.

• The ‘ANSI X-12: 601 – Export Shipment Information’ document is the EDI specification which CBP uses tosupport electronic filing of data. This EDI implementation guide provides the details of the data which CBPwants to be submitted for export filing with AES. This document is available on the CBP website.

• The ‘GTM - AES X12 601 Mapping.xlsx’ document provides the details of how the data which needs to be filedwith AES is mapped to Global Trade Management Cloud. You can see the data element from the ‘ANSI X-12:601 – Export Shipment Information’ document, where the data resides in the Global Trade Management Clouddatabase, and where the data should be entered on the Global Trade Management Cloud user interface.

• As part of troubleshooting, these three documents can be used together to determine what the issue is, how toresolved it, and where the data resides in Global Trade Management Cloud. For example, you submit a filing toAES from Global Trade Management Cloud. You receive a response back from AES with a response code of 116.You do not receive back the ITN. To troubleshoot this, you can:

• Look up Response Code 116 in the ‘Appendix A – Commodity Filing Response Matrix’ document provided byCBP. This document shows the following:

• If you are looking for more detail about the Related Company Indicator, you can refer to the ‘ANSI X-12: 601 –Export Shipment Information’ document and search for ‘Related Company Indicator’. This document shows thefollowing:

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Chapter 5Troubleshooting

You can see that AES wants to know if ‘…during the fiscal year, either the USPPI or foreign ultimate consignee reported,owned 10% or more of the other’s voting securities’.

• If you want to see where this data resides in Global Trade Management Cloud, you can use the ‘GTM – AES X12601 Mapping.xlsx’ document. In this document, search for ‘Related Company Indicator’. This document showsthe following:

When you do this search, you can see that AES expects this data to be sent in the BA101 element. There are two possiblecodes: “N” – NO Companies are NOT related or “Y” – YES Companies related. You can also see that this data shouldbe populated on the Declaration as a remark with a qualifier of ‘RELATED COMPANY’. You can verify if the ultimateconsignee is related to the USPPI, add this data to Global Trade Management Cloud and retransmit to AES.

For a copy of either the ‘ANSI X-12: 601 – Export Shipment Information’ and ‘Appendix A – Commodity Filing ResponseMatrix’ documents, please go to the CBP website at http://www.cbp.gov. For a copy of the ‘GTM – AES X12 601Mapping.xlsx’ document, please go to My Oracle Support and refer to the Oracle Transportation Management andGlobal Trade Management Version 6.x Documentation and Training Resources (Doc ID 796594.1) note.

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Chapter 6Appendix

6 Appendix

Sample Outbound X12.601 EDI Filing Document ISA*03*000000000 *01* *01*000000000 *ZZ*USCSAESTEST *130813*1026*^*00405*777100077*0*T*:~GS*SE*000000000 *USCSAESTEST*20130813*1026*777100077*X*00405~ST*601*777100077*~BA1*N*1*A*JP*SHIPMENT_01**NO*MD**AA**AMERICAN AIRLINES~YNQ*RZ*N********~YNQ*QQ*N********~DTM*274*20130904****~P5*L*D*1305~M12*70***N*******~N1*FW*SUPER FREIGHT FORWARDING*24*54123678900*01*~N2*JOE BOXMAN*8027662017~N3*100 DERBY LINE ROAD*~N4*DERBY*VT*05829*US***~N1*CN*XYZ COMPANY* **01*~N3*1 PURCHASE PLACE*~N4*OKINAWA**47211*JP***~N1*EX*123 COMPANY*24*00000000000*01*~N2*JOHN SMITH*9876543210~N3*1 PROFIT PLACE*~N4*SUITLAND*MD*20746*US***~L13*B*1905320000*KG*840*10*3500*1000**0*K*840*WAFFLES AND WAFERS*OS*1**~X1**NLR*1****C33**D*******EAR99*~SE*21*777100077~GE*1*777100077~IEA*1*777100077~

Sample Inbound X12.824 EDI Filing Response: ShipmentAdded Response

ISA*00*000000000 *01* *ZZ*USCSAESTEST *01*000000000 *130813*1627*^*00405*000000043*0*P*~GS*AG*USCSAESTEST* *20130813*1627*43*X*004050ST*824*0043BGN*01*000000000*20130813***XTN1*01*123 COMPANY*24*00000000000REF*01*100077OTI*02*A1*000000000OTI*02*B1*00000000000OTI*02*SC1*SHIPMENT_01OTI*02*ES1*X20130813000054TED*974* A SHIPMENT ADDED OTI*02*Y1*00000000000OTI*02*Z1*000000000SE*12*0043GE*1*43IEA*1*000000043

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Chapter 6Appendix

Sample Inbound X12.824 EDI Filing Response: ShipmentRejected Response

ISA*00*000000000 *01* *ZZ*USCSAESTEST *01*000000000 *130819*1357*^*00405*000000057*0*P*~GS*AG*USCSAESTEST* *20130819*1357*57*X*004050ST*824*0057BGN*01*000000000*20130819***XTN1*01*123 COMPANY*24*00000000000REF*01*100144OTI*02*A1*000000000OTI*02*B1*00000000000OTI*02*SC1*AES_SHIPMENT_06OTI*02*CL1*1000SWT BISCTS;WFLS,NT FRO,OTH OTI*02*CL2*1905310049TED*642*F QUANTITY 1 CANNOT EXCEED 99,999,999 *L13TED*8W1*V SHPING WGT/QUANTITY 1 OUT OF RANGE *L13OTI*02*ES1TED*970*F R SHIPMENT REJECTED; RESOLVE & RETRANSMITOTI*02*Y1*00000000000OTI*02*Z1*000000000SE*16*0057GE*1*57IEA*1*000000057

Important Qualifiers Qualified IDs that are referenced in the default BI Publisher templates used to generate the EDI formatted filingdocument.

Type of Qualifier Qualifier ID

Date Qualifier EXPORT DATE

GTM Transaction Line Refnum Qualifier FILING REFERENCE NUMBER

GTM Transaction Line Refnum Qualifier VEHICLE IDENTIFICATION NUMBER

GTM Transaction Line Refnum Qualifier VEHICLE TITLE NUMBER

GTM Transaction Refnum Qualifier SHIPMENT REFERENCE NUMBER

GTM Transaction Refnum Qualifier BN

Involved Party Qualifier CARRIER

Involved Party Qualifier FORWARDING AGENT

Involved Party Qualifier INTERMEDIATE CONSIGNEE

Involved Party Qualifier SHIP FROM

Involved Party Qualifier ULTIMATE CONSIGNEE

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Chapter 6Appendix

Type of Qualifier Qualifier ID

Involved Party Qualifier USPPI

Involved Party Qualifier TRANSMITTER

Involved Party Qualifier FILER

Location Refnum Qualifier SCHEDULE_D

Location Refnum Qualifier SCHEDULE_K

Party Refnum Qualifier DDTC REGISTRATION NUMBER

Party Refnum Qualifier DUNS

Party Refnum Qualifier FOREIGN ENTITY NUMBER

Party Refnum Qualifier AES TRANSMITTER ID

Party Refnum Qualifier AES FILER ID

Port Qualifier PORT OF EXPORT

Port Qualifier PORT OF UNLADING

Product Classification Type ECCN US

Product Classification Type SCHEDULE B

Quantity Qualifier ORDERED

Quantity Qualifier TOTAL GROSS WEIGHT

Remark Qualifier FILING OPTION

Remark Qualifier ORIGIN

Remark Qualifier EQUIPMENT INITIAL NUMBER

Remark Qualifier EXPORT INFORMATION CODE

Remark Qualifier ELIGIBLE PARTY CERTIFICATION

Remark Qualifier RELATED COMPANY

Remark Qualifier ROUTED EXPORT TRANSACTION

Remark Qualifier VEHICLE TITLE STATE CODE

Value Qualifier TOTAL VALUE

References • CBP recommended VPN options:

http://www.cbp.gov and search for Communication Access.

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Chapter 6Appendix

• Census Schedule D Port Locations found in AES Appendix D – Export Port Codes: http://www.cbp.gov andsearch for AESTIR Appendices.

• Census Schedule K (Classification of Foreign Ports by Geographic Trade Area and Country) found in AESAppendix Z – Additional Information Sources: http://www.cbp.gov and search for AESTIR Appendices

• ANSI X-12: 601 – Export Shipment Information: http://www.cbp.gov and search for 601

• Appendix A – Commodity Filing Response Matrix: http://www.cbp.gov and search for AESTIR Appendices

• GTM – AES X12 601 Mapping.xlsx: https://support.oracle.com, Doc ID 796594.1

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http://www.cbp.govhttp://www.cbp.govhttp://www.cbp.govhttp://www.cbp.govhttps://support.oracle.com

Oracle Transportation and Global Trade Management Cloud Customs Filing Integration GuidePrefaceCustoms Filing in Global Trade Management CloudOverviewProcess OverviewDeclaration CreationFiling Document DeterminationData PreparationFiling Document GenerationFiling Document TransmissionFiling Response ProcessingFiling Process Visibility

Customs Filing with AESOverviewFiling with AES via Descartes’ GLN systemFiling RequirementsFiling Architecture

AES Export Declaration Filing and Response ProcessingOutbound Export Declaration Filing SetupDeclaration CreationDocument DeterminationDocument ValidationDocument Data PreparationDocument GenerationDocument Filing

Inbound Filing Response ProcessingEDI to Tracking Event XML TransformationHTTP Servlet

Tracking Event Processing

Customs Filing Statuses

AES Regulatory ChangesAmendments to Cuba Sanctions and New Voluntary Disclosure License Code TypesFTR ChangesRemoval of AES License Type Code C32, No License Required (NLR)Removal of AES License Type Codes C49 Trans-Alaska Pipeline Authorization Act (TAPS); C55, Short Supply Crude Oil Samples; and C56 Short Supply Strategic Petroleum Reserves

TroubleshootingTroubleshooting Process

AppendixSample Outbound X12.601 EDI Filing DocumentSample Inbound X12.824 EDI Filing Response: Shipment Added ResponseSample Inbound X12.824 EDI Filing Response: Shipment Rejected ResponseImportant QualifiersReferences